Stifel Nicolaus Europe Limited

• Principal Place of Business

  4th Floor

  150 Cheapside

  London

  EC2V 6ET

  UNITED KINGDOM

  Phone

  +442077107600

  Web

  https://www.stifel.com

• Complaints Contact

  4th Floor

  150 Cheapside

  London

  EC2V 6ET

  UNITED KINGDOM

  Phone

  +442077107600

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Government and public security, Share, Warrant

• Maximilian John Magliana

  IRN MJM01525

  • CF30 Customer (8 Jul 2015 to 27 Apr 2017)
• Mehr Jasuja

  IRN MXJ21082

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Apr 2021)
  • CF30 Customer (30 Sep 2019 to 8 Dec 2019)
• Michael Anthony Coakley

  IRN MAC01146

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2024)
  • CF29 Significant management (11 Apr 2019 to 8 Dec 2019)
  • CF30 Customer (29 Apr 2016 to 8 Dec 2019)
• Michael Coombs

  IRN MXC00515

  • [FCA CF] Client dealing (since 1 Dec 2020)
• Michael David Shaw

  IRN MDS01093

  • CF30 Customer (3 Feb 2015 to 3 May 2016)
• Michael Edward King

  IRN MEK01020

  • CF30 Customer (3 Feb 2015 to 31 Mar 2016)
• Michael Hart

  IRN MXH01943

  • CF30 Customer (24 Aug 2017 to 31 Oct 2019)
• Michael John Sealey

  IRN MJS01237

  • CF30 Customer (18 Jan 2016 to 20 May 2016)
• Michael Kenneth Barnett

  IRN MKB01015

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2023)
  • CF30 Customer (1 Oct 2011 to 8 Dec 2019)
• Michael Kevin Mazor

  IRN MKM01036

  • CF29 Significant management (1 Oct 2011 to 2 Aug 2013)

No changes recorded yet.